Kevin R. Haddad
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Ray Haddad, who also goes by Kevin Ray Haddad, Kevin R Haddad, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 18 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2021 - August 21, 2024
THE HUNTINGTON INVESTMENT COMPANY
November 10, 2021 - August 21, 2024
THE HUNTINGTON INVESTMENT COMPANY
January 20, 2020 - September 11, 2020
VALMARK SECURITIES, INC.
January 15, 2020 - September 11, 2020
VALMARK ADVISERS, INC.
June 9, 2014 - June 11, 2019
KEY INVESTMENT SERVICES LLC
June 9, 2014 - June 11, 2019
KEY INVESTMENT SERVICES LLC
February 6, 2014 - March 19, 2014
LPL FINANCIAL LLC
February 5, 2014 - March 19, 2014
LPL FINANCIAL LLC
June 10, 2011 - January 17, 2014
FIRSTMERIT FINANCIAL SERVICES, INC
May 13, 2011 - February 24, 2014
FIRSTMERIT ADVISORS, INC.
April 11, 2008 - October 1, 2009
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 3, 2005 - December 31, 2007
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - December 31, 2007
TRUIST INVESTMENT SERVICES, INC.
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
August 12, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
June 18, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
November 24, 1999 - September 30, 2002
INVEST FINANCIAL CORPORATION
August 8, 1997 - December 6, 1999
OSAIC FS, INC.
October 16, 1995 - January 13, 2000
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
April 3, 1990 - November 28, 1994
CRESTAR SECURITIES CORPORATION
January 3, 1990 - March 5, 1990
BOUCHER, OEHMKE & COMPANY
December 15, 1989 - January 4, 1990
DFW SECURITIES, INC.
August 1, 1988 - January 20, 1990
ANDERSON, BRYANT & CO.
May 21, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
Primary Firm SEC Registration
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | PARENT COMPANY | |
| BALLARD, MONICA VICKMAN | SECRETARY | 4245227 |
| BOARDMAN, JEFFREY MICHAEL | CONFLICT OFFICER | 2746492 |
| BRUNNER, MICHAEL EVANS | ROSFP | 5353459 |
| BRUNNER, MICHAEL EVANS | MUNICIPAL PRINCIPAL | 5353459 |
| DUNCAN, ERICA | BOARD MEMBER | 8031535 |
| ERDELYI, MICHAEL DAVID | PRINCIPAL OPERATIONS OFFICER | 5864282 |
| FERGUSON, EMILY ELIZABETH | CHIEF TECHNOLOGY OFFICER | 3107040 |
| FORESTA, CYNTHIA JEAN | CHIEF COMPLIANCE OFFICER | 2445804 |
| HAMILTON, MELANIE KATE-MCFARLAND | PRINCIPAL FINANCIAL OFFICER | 5452291 |
| HOLDING, MELISSA | DIRECTOR OF WEALTH MANAGEMENT | 4621076 |
| HOLDING, MELISSA | BOARD MEMBER | 4621076 |
| LOUGH, SHAWN PATRICK | BOARD MEMBER | 6356321 |
| MIROBALLI, MICHAEL | CHIEF OPERATING OFFICER | 1545242 |
| MIROBALLI, MICHAEL | BOARD MEMBER | 1545242 |
| MIROBALLI, MICHAEL | PRESIDENT | 1545242 |
| POLIVKA, ALEX C | AML OFFICER | 6270624 |
| REBER, AARON | BOARD MEMBER | 7793642 |
| RICHARDSON, STEPHEN MONROE | FINOP | 6260539 |
| RICHARDSON, STEPHEN MONROE | CHIEF FINANCIAL OFFICER | 6260539 |
Regulatory assets under management
| Total Number of Accounts | 37,298 |
| AUM (Assets Under Management) | $ 6,344,121,382 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
